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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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DH

David E. Hendershott

Some features on this profile are disabled
CRD#: 860966
DH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Earl Hendershott was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1979. David had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 8, 2023 - December 31, 2025

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
PASADENA, CA
Past

April 19, 2016 - June 30, 2023

BELPOINTE ASSET MANAGEMENT LLC

RIA
CRD#: 143440
Altadena, CA
Past

February 19, 2015 - October 15, 2015

TCFG WEALTH MANAGEMENT, LLC

BD
CRD#: 164153
Newport Beach, CA
Past

January 2, 2015 - February 26, 2015

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
NEWPORT BEACH, CA
Past

January 2, 2015 - February 26, 2015

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
NEWPORT BEACH, CA
Past

June 2, 2009 - December 31, 2014

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEWPORT BEACH, CA
Past

June 2, 2009 - December 31, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEWPORT BEACH, CA
Past

July 8, 1997 - June 18, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LOS ANGELES, CA
Past

March 20, 1987 - June 18, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LOS ANGELES, CA
Past

August 31, 1984 - February 20, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

January 25, 1984 - September 28, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

September 20, 1981 - January 9, 1984

JEFFERIES LLC

BD
CRD#: 2347
Past

March 20, 1980 - September 2, 1981

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867
Past

January 2, 1979 - March 22, 1980

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/28/1985
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)
PREMIUM
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Contact information

Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts6,200
AUM (Assets Under Management)$ 1,064,198,265

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BROOKWOOD INVESTMENT GROUP

CRD#: 316544

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